Employee Compliance
My Compliance Centre enables employees to comply with FCA regulations and internal compliance policies.
My Compliance Centre's Employee Compliance Solution aligns all your compliance requirements into an automated system, saving time and is simple to implement.
Attestations
Create unlimited document or question based attestations and deploy to as many employees as you would like.
Review who has completed every attestation in the dashboard and configure unlimited reminders to ensure completion.
Gifts & Entertainment
Allow employees to record all gifts given and received within the system. Automate approval levels to smooth processing and the management of the Gifts and Entertainment register.
Personal Account Dealing
Customise your internal PA Dealing process to manage the workflow from pre-trade approval to post -trade confirmation. Record all employee holdings and build restricted lists. Maintain full control of all outstanding requests through the real time register.
Conflicts Register
Define your own Conflict types and record and approve all employee conflicts. Manage the Conflicts register and ensure full transparency across all stakeholders.
Compliance Advice
Streamline your support process for non-compliance colleagues.
Receive help requests directly into the system and record responses, ensuring consistency.
Add your advice to the KnowledgeBase for the benefit of all.
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